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A•••• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered· Los Angeles, Californiawebsite

Asset manager (funds and pooled vehicles), based in Los Angeles, California, reporting $648M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$648M
Form ADV
Advisors
0
IAPD
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. New owner
    ownership and control

    A•••• H•••••••• L•• appeared on Schedule A as an owner on 29 Mar 2026.

    A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.

    FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
Every filed figure, and the identifiersCRD 336603 · SEC 801-132962 · 3 filingsShow
CRD 336603SEC 801-132962First filing on the tape May 9, 2025, latest Mar 29, 2026SEC status approved since Jun 9, 2025IAPD
RAUM
$648M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
94
42 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape

Filed figures over time · the tape starts May 9, 2025

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$648M as of Mar 29, 2026
May 9, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2026
May 9, 20250 then
Employees (5.A)94 as of Mar 29, 2026
May 9, 202579 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 29, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$324MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client cash (9.B.1.a)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow
  • Pooled investment vehicles$648M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• S•••• N•••••••• · Managing Director & Co- Portfolio Managercontrol
        since 04/2021 · owns less than 5%
      • D•••••••• S••••••• L•••• · Chief Operating Officercontrol
        since 11/2020 · owns less than 5%
      • F••• J•••••••• M••• · Chief Credit Officercontrol
        since 03/2024 · owns less than 5%
      • G••••••••• S•••• · Chief Revenue Officercontrol
        since 01/2025 · owns less than 5%
      • H•••••• G••••••• S•••• · Managing Director & Co- Portfolio Managercontrol
        since 03/2012 · owns less than 5%
      All 9 control persons
      • M•••••• K••••• D•••• · Chief Compliance Officercontrol
        since 06/2025 · owns less than 5%
      • T•••• T••••• N•• · Chief Financial Officercontrol
        since 06/2025 · owns less than 5%
      • G••••••••• C•••••• P••• · Vice President, Investor Relations And Business Development
        since 09/2024 · owns less than 5%
      • S••••••••• J••••••• · Svp, Investor Relations
        since 02/2026 · owns less than 5%
      Entity owners
      • A•••• H•••••••• L•• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 32 to 42
        Oct 3, 2025 to Mar 29, 2026
      • Employees · 93 to 94
        Oct 3, 2025 to Mar 29, 2026
      • Discretionary RAUM · $641M to $648M
        Oct 3, 2025 to Mar 29, 2026
      • Pooled vehicle RAUM · $641M to $648M
        Oct 3, 2025 to Mar 29, 2026
      • RAUM · $641M to $648M
        Oct 3, 2025 to Mar 29, 2026
      Full history · 12 changes
      • Accounts · 0 to 2
        May 9, 2025 to Oct 3, 2025
      • Advisory employees · 20 to 32
        May 9, 2025 to Oct 3, 2025
      • Pooled vehicle clients · unset to 2.0
        May 9, 2025 to Oct 3, 2025
      • Employees · 79 to 93
        May 9, 2025 to Oct 3, 2025
      • Discretionary RAUM · $0 to $641M
        May 9, 2025 to Oct 3, 2025
      • Pooled vehicle RAUM · unset to 641132609.0
        May 9, 2025 to Oct 3, 2025
      • RAUM · $0 to $641M
        May 9, 2025 to Oct 3, 2025
      Signals
      1 dated events
      • ••• Locked
        May 9, 2025 · First SEC registration · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 29, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 29, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months, RAUM change, 1 year.